Fred M. Hartman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Fred Michael Hartman was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1989. Fred had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2019 - April 6, 2020
FNEX CAPITAL, LLC
February 11, 2019 - June 3, 2019
FDX CAPITAL LLC
February 29, 2016 - January 25, 2019
FNEX CAPITAL, LLC
August 23, 2010 - December 4, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
January 19, 2010 - August 16, 2010
CARTER, TERRY & COMPANY, INC.
March 31, 2003 - December 31, 2006
IDS LIFE INSURANCE COMPANY
March 31, 2003 - March 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 18, 2001 - March 28, 2003
MORGAN STANLEY DW INC.
December 5, 2001 - March 28, 2003
MORGAN STANLEY DW INC.
September 11, 1998 - December 7, 2001
UBS FINANCIAL SERVICES INC.
January 11, 1995 - September 16, 1998
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - January 5, 1995
CITIGROUP GLOBAL MARKETS INC.
February 1, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/28/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
